DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

N•••• L••••• A••••••••

L•• F•••••••• L••BD affiliatedNormal, Ildual registrantIAPD 1743751

Feed of 09/14/2026

At current firm

1 y

since Sep 30, 2024

In the industry

38 y

since Nov 5, 1987 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Sep 30, 2024 · Normal, Il
C••••• I••••••••• A••••••• L•• BD affiliated
Nov 12, 2020 to Oct 10, 2024 · Normal, Il
F•••• A••••• A••••••• S•••••••• I••• former
Jul 2, 2012 to Nov 12, 2020 · Chesterfield, Mo
F•••• A••••• S••••••••• I••• former
Apr 19, 2011 to Jul 2, 2012 · Normal, Il
Z•••••••• • A•••••••• I••••••••• A••••••• unclassified
Jul 19, 1998 to Oct 17, 2024 · Normal, Il

Moves

a registration end followed by a registration begin elsewhere

Z•••••••• • A•••••••• I••••••••• A••••••• to F•••• A••••• S••••••••• I•••
left Oct 17, 2024, registered Apr 19, 2011 (-4930 days) · Other
C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left Oct 10, 2024, registered Sep 30, 2024 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••
left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move

Signals

N•••• L••••• A•••••••• left Z•••••••• • A•••••••• I••••••••• A••••••• for F•••• A••••• S••••••••• I••• (registered 2011-04-19)
Oct 17, 2024 · Advisor changed firm · fact
N•••• L••••• A•••••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-09-30)
Oct 10, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address